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Readout: U. S. Department of the Treasury Assistant Secretary Elizabeth Rosenberg’s Visit To The Republic of Korea

Date 22/09/2022

On September 22, 2022, the U. S. Department of the Treasury Assistant Secretary for Terrorist Financing and Financial Crimes Elizabeth Rosenberg met with her counterparts from the Republic of Korea’s (ROK) Ministry of Economy and Finance, Ministry of Foreign Affairs, Special Representative for Korean Peninsula Peace and Security Affairs, Financial Services Commission, and Korean Financial Intelligence Unit in Seoul. In these meetings, Assistant Secretary Rosenberg discussed economic and national security issues of mutual importance, including aggression by the Democratic People’s Republic of Korea (DPRK), economic stability in the Indo-Pacific, Russia’s war against of Ukraine, and virtual assets. These discussions reflected the strength of the U.S.-ROK alliance, and both sides agreed to deepen cooperation on the challenges the two countries face both in the region and beyond.
CFTC Imposes $250,000 Penalty Against bZeroX, LLC And Its Founders And Charges Successor Ooki DAO For Offering Illegal, Off-Exchange Digital-Asset Trading, Registration Violations, And Failing To Comply With Bank Secrecy Act - CFTC Order Finds, And Complaint Alleges, Ooki DAO Is Liable As An Unincorporated Association

Date 22/09/2022

The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against respondent bZeroX, LLC (bZeroX) and its founders Tom Bean (Bean) and Kyle Kistner (Kistner) (collectively, respondents) for illegally offering leveraged and margined retail commodity transactions in digital assets; engaging in activities only registered futures commission merchants (FCM) can perform; and failing to adopt a customer identification program as part of a Bank Secrecy Act compliance program, as required of FCMs.
Boeing To Pay $200 Million To Settle SEC Charges That It Misled Investors About The 737 MAX - Former CEO Agrees To Settle To Same Charges And Pay $1 Million

Date 22/09/2022

The Securities and Exchange Commission today charged The Boeing Company and its former CEO, Dennis A. Muilenburg, with making materially misleading public statements following crashes of Boeing airplanes in 2018 and 2019. The crashes involved Boeing’s 737 MAX airplane and a flight control function called the Maneuvering Characteristics Augmentation System (MCAS). According to the SEC’s orders, after the first crash, Boeing and Muilenburg knew that MCAS posed an ongoing airplane safety issue, but nevertheless assured the public that the 737 MAX airplane was “as safe as any that has ever flown the skies.” Later, following the second crash, Boeing and Muilenburg assured the public that there were no slips or gaps in the certification process with respect to MCAS, despite being aware of contrary information.
The New York Stock Exchange And Tokyo Stock Exchange Announce New Collaboration To Support Cross-Border Investment Between The U.S. And Japan - The Two Exchanges Sign Agreement On Product Development And Other Collaborative Activities During The Visit Of Japanese Prime Minister Kishida To The NYSE

Date 22/09/2022

The New York Stock Exchange, part of Intercontinental Exchange, Inc. (NYSE: ICE), and Tokyo Stock Exchange, Inc. (TSE) today announced a new agreement to support cross-border investment between the U.S. and Japan by collaborating in areas including product development, marketing, and information sharing.
US Office Of The Comptroller Of The Currency Announces New Executive Committee Members

Date 22/09/2022

The Office of the Comptroller of the Currency (OCC) today announced three new members of its Executive Committee, effective October 10, 2022.

Canadian Securities Regulators Initiate Review Of The Distribution Of Mutual Fund Securities Through A Principal Distributor

Date 22/09/2022

The Canadian Securities Administrators (CSA) is reviewing the practices of mutual funds that have principal distributor relationships with registrants to distribute their securities. This is in alignment with the CSA’s 2022-2025 CSA Business Plan, which includes assessing whether additional mutual fund sales practice rule modernization is needed to improve investor protection and maintain investor confidence in our capital markets.
CFTC Charges Five Entities For Failing To Register As FCMs

Date 22/09/2022

The Commodity Futures Trading Commission today announced it has filed charges against five entities for operating as unregistered futures commission merchants (FCM). The entities, which claim to be based in either New York, N.Y. or at the same street address in Los Angeles, California, are Cryptostockoptionstrade Ltd, Global Smart Option Broker Ltd, Hypertradingoption Ltd, Stockbrokertechniques Ltd., and SprintTrade. Each complaint seeks an order directing the respondent to cease and desist from committing violations of the Commodity Exchange Act (CEA) and CFTC regulations.
Remarks By US Under Secretary For Domestic Finance Nellie Liang At The Securities Industry And Financial Markets Association’s Prudential And Capital Board Subcommittee

Date 22/09/2022

Let me begin by thanking SIFMA for inviting me to speak at today’s meeting. In my remarks, I will focus on the progress made by the official sector towards enhancing the resilience of the Treasury market.
CFTC Orders Two California Precious Metals Companies To Pay Over $1 Million For Fraud, Illegal Offering Of Retail Commodity Transactions, And Registration Violations

Date 22/09/2022

The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Goldline, Inc. (Goldline) and A-Mark Precious Metals, Inc. (A-Mark), both California companies, for fraud in connection with off-exchange retail commodity transactions; failing to register as a Futures Commission Merchant (FCM); and engaging in illegal off-exchange retail commodity transactions. The order requires Goldline and A-Mark to disgorge $627,801.78; pay, jointly and severally, a $450,000 civil monetary penalty; and to cease and desist from further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged.
Nasdaq To Hold Third Quarter 2022 Investor Conference Call

Date 22/09/2022

Nasdaq (Nasdaq: NDAQ) has scheduled its Third Quarter 2022 financial results announcement.